Phases of a WSI

Phase 1: Incubation and Initial Analysis

A WSI’s incubation and preliminary scoping focuses on the actions that a WSI initiator takes to understand the local context, local water-related challenges, the potential participants, and necessary resources for actions to occur. It requires preliminary commitment (in the form of both monetary and personnel resources) to collective action by the actor or set of actors.

A WSI would then  expand beyond a small group of organizations to determine whether it is the best option to address the local water challenge and serve the public interest. The WSI would then undergo a thorough context and stakeholder analysis.

Guiding Questions

• Have stakeholders with a significant ability to influence the outcomes of the WSI been identified? Have affected stakeholders influenced by the WSI been identified?
• Have WSI participants’ track records, incentives, and intentions been sufficiently analyzed?
• Are government roles clearly defined in relation to achieving water-related public policy objectives?
• Do public institutions have the capacity and resources to deliver on these stated objectives?
• Are the WSI’s objectives and activities aligned with public policy goals and objectives, and do they structurally support the development of the public sector’s
  ability to manage water resources? Have public interest benefits been explicitly
  outlined?

Key Activities

• Identify and map stakeholders affected by the (or their legitimate proxies), as well as those with a significant ability to influence WSI outcomes. (Use Tool 3)
• Undertake an initial analysis of WSI participants’ track records, incentives, and intentions. (Use Tool 4)
• Undertake a participatory context analysis for the WSI to understand ongoing public sector–led efforts and policy objectives related to sustainable water management, and evaluate the implications for the WSI. (Use Tool 5)

Phase 2: Formalization

During this phase, the desired outcomes, intentions, and public interest benefits of the initiative are specified. The phase should also determine the geographic scope and scale of the initiative, and the key functions, activities, and/or solutions the initiative will undertake. This culminates in assigning responsibilities to WSI participants and determining financial commitments, specifying institutional links, and planning for any deficiencies.

This phase also focuses on understanding and establishing the degree of formality of the WSI in order to plan for implementation, the decision-making approach and process, the responsibility boundaries, the process time frame, and the underlying legal, regulatory, or policy factors that may affect the procedural aspects of the WSI. This includes undertaking financial planning, establishing the necessary transparency and accountability measures, building in WSI adaptation provisions, and establishing closure expectations.

Guiding Questions

• Have public sector stakeholders’ mandates been respected, and have those stakeholders been actively involved in setting the objectives and activities of the WSI?
• Are affected stakeholders contributing to the design and implementation of the WSI?
• Has the problem analysis sufficiently clarified the root causes and nature of the challenges that the WSI seeks to address? Have the opportunities for progress and the risks facing the WSI in delivering these outcomes been properly understood?
• Have participants clearly defined the scope and objectives of the WSI, as well as its benefits for the public interest and for each participant?
• Has the justification for the WSI been effectively communicated to all participants and affected stakeholders? Do channels exist to capture feedback?
• Have the capabilities and constraints of each participant been properly assessed, and a needs assessment conducted? How will the WSI deal with capacity deficits?
• Have roles and responsibilities for all activities and coordination tasks been appropriately shared?
• Have participants agreed on management and decision-making processes, how to handle communications and financial issues?
• How equitable is the decision-making process?
• How does the WSI explicitly value honesty? Are agreed procedures held up as a reference for behavior?

Key Activities

• Determine whether and how affected stakeholders (or their proxies) can be appropriately represented in the WSI. (Use Tool 6)
• Define among WSI participants the scope, objectives, and public interest benefits of the WSI, as well as the benefits of the WSI for respective participants. (Use Tool 6 and Tool 7)
• Complete analysis of WSI participants’ track records, incentives, and intentions, as well as their respective capabilities and constraints. (Use Tool 4 and Tool 8)
• Assign among WSI participants suitable roles and responsibilities for all activities, coordination tasks, processes, and procedures. (Use Tool 9, Tool 10, and Tool 11)
• Jointly identify and establish equitable decision-making structures and processes within the WSI, ensure that effective communications occur among WSI participants and with affected stakeholders, and clarify how financial issues will be handled. (Use Tool 8 and Tool 10a)
• Clarify expectations of behavior to guide participants’ engagement in the WSI. (Use Tool 10b)
• Explore organizational forms that align with the purpose and nature of the WSI. (Use Tool 10)
• Assess the likelihood of policy capture and establish adequate safeguards to reduce capture risks. (Use Tool 1c)
• Establish an exit strategy for the WSI. (Use Tool 12)
• Establish an M&E mechanism that enables WSI participants to understand both expected and unexpected outcomes, and determine whether the WSI is meeting its stated objectives. (Use Tool 7)

Phase 3: Implementation

This phase focuses on the actual implementation of project activities, including ongoing monitoring of stated activities against objectives, evaluating for potential deficiencies and capture risks, and identifying areas for ongoing learning and amendments to the WSI.

Guiding Questions

• How are the quality of the representation and engagement of stakeholders monitored? Are actions taken to balance various interests where needed?
• How is adherence to agreed procedures being effectively monitored? ? Are shortcomings properly addressed?
• Have participants had the opportunity to discuss, challenge, and improve the logic behind how the WSI will contribute to more sustainable water management?
• Is an M&E system in place to track progress of the WSI and readjust the course of the program as needed?
• Do communication mechanisms provide sufficient information on the performance of the WSI?

Key Activities

• Monitor WSI participant representation and engagement of affected stakeholders over the course of the WSI, and take action to balance interests where needed.
• Monitor WSI participant adherence with and exceptions to defined governance procedures.
• Regularly question and verify the WSI’s theory of change and adapt/improve to ensure that it is aligned with stated WSI objectives and contributes to sustainable water management more generally. (Use Tool 2)
• Periodically make accessible to WSI participants and affected stakeholders information on performance of the WSI in relation to stated objectives and predicted benefits. (Use Tool 7)

Phase 4: Completion, Renewal, or Upscaling

This phase focuses on evaluating the WSI process and implementation, as well as determining next steps for a WSI, the plans for its completion, or the necessary arrangements to ensure its sustainability over a longer time frame.

Guiding Questions

• Is an M&E system in place to track progress of the WSI and readjust the course of the program as needed?
• Have agreed M&E mechanisms led to effective tracking of new integrity risks?
• Has an appropriate exit strategy been designed?
• Do communication mechanisms provide sufficient information on the performance of the WSI?

Key Activities

• Undertake a participatory final evaluation and financial audit of the WSI, and communicate results to affected stakeholders.
• Engage affected stakeholders in the decision-making process for renewing, upscaling, or completing the WSI. (Use Tool 6)
• Determine how to best ensure that activities and outcomes are appropriately embedded into existing institutions. (Use Tool 12)
• Establish a process to monitor and evaluate capture risks during the completion and/or transformation of the initiative. (Use Tool 1c)